William A. Richardson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Aldrich Richardson, CFP®, who also goes by Bill Richardson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1989
Experience
August 30, 2016 - February 2, 2023
TRUIST ADVISORY SERVICES, INC.
December 3, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
November 30, 2012 - February 2, 2023
TRUIST INVESTMENT SERVICES, INC.
April 27, 2005 - December 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2005 - December 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 3, 1998 - April 18, 2000
IFMG SECURITIES, INC.
September 23, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
July 18, 1996 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
September 28, 1994 - July 26, 1996
ALLSTATE FINANCIAL SERVICES, LLC
May 24, 1990 - October 4, 1994
FIDELITY BROKERAGE SERVICES LLC
March 8, 1990 - May 15, 1990
ADVANTAGE CAPITAL CORPORATION
March 9, 1988 - October 17, 1989
GRIFFIN FINANCIAL SERVICES
March 5, 1987 - February 10, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
July 30, 1986 - April 11, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 30, 1986 - April 29, 1987
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
